- Foresters Financial Services (Westbury, NY)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- Foresters Financial Services (Cleveland, OH)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- Charles Schwab (Lone Tree, CO)
- …+ 5 years of experience in a Regulatory Testing/Examiner/Audit role + Investment Adviser and/or Investment Company experience required + ... Manager, responsible for conducting risk-based compliance testing within our affiliated investment advisory programs and mutual funds. The Senior Manager is an… more
- US Bank (Minneapolis, MN)
- …Management** **team** US Bancorp Asset Management (USBAM) is an SEC Registered Investment Adviser providing investment management services to institutional ... well as the resources of US Bancorp Investments, which delivers planning, investment , insurance, and brokerage services. Together, we offer an integrated wealth… more
- US Bank (Minneapolis, MN)
- …Asset Management team** US Bancorp Asset Management (USBAM) is an SEC Registered Investment Adviser providing investment management services to institutional ... well as the resources of US Bancorp Investments, which delivers planning, investment , insurance, and brokerage services. Together, we offer an integrated wealth… more
- First Horizon Bank (Knoxville, TN)
- …in job posting **Summary** Portfolio Manager / Business Development Officer at Registered Investment Adviser with $1.5 billion in assets under management. Work ... managers in the development and execution of the Martin & Company investment strategies. **Key Responsibilities Include** + Assist in equity and fixed income… more
- Neuberger Berman (New York, NY)
- …years' experience in registration, licensing, or compliance within a broker-dealer or investment adviser + Proactive, self-motivated, and highly organized + ... education (CE) requirements and processes for registered representatives and investment advisers + Experience supporting audits and regulatory examinations related… more
- GE Vernova (New York, NY)
- …FS' global regulated business activities, products and services + Registered Investment Adviser Obligations: Assess compliance obligations and execute controls ... principles and best practices. + Energy sector, infrastructure and/or development investment experience. + Experience with US and/or global regulatory regimes… more
- First National Bank of Omaha (Omaha, NE)
- …such as Bloomberg and FactSet. Tributary Capital Management is a SEC Registered Investment Adviser headquartered in Omaha, Nebraska. We provide asset management ... services to institutions, individuals, and investment companies and manage approximately $2.8 billion in multiple...fundamental research and security valuation. We have a long-term investment horizon, which we feel is a key to… more
- HUB International (New York, NY)
- …designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing compliance reviews, ... supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief… more